48% of fleet operators say they feel overwhelmed by compliance. That’s almost half of operators out there feeling the strain.

Microlise Product Marketing Executive Josh Hill caught up with colleagues from transport-focused law firm Backhouse Jones to discuss the fundamentals of fleet compliance, including common pitfalls and what operators need to do to remain safe, and compliant.

Charlotte Fowler,
Senior Associate Solicitor | Backhouse Jones

Andrew Woodfall,
Legal Director | Backhouse Jones

J: Compliance can be a broad term and mean different things to different people. What does compliance mean to you?

C: Compliance means operating lawfully, safely and responsibly in accordance with the regulatory framework governing transport operations. For operators, it is not just about avoiding enforcement action, but about embedding systems and behaviours that consistently meet the standards expected by the Traffic Commissioner, DVSA and other regulators.

At its core, compliance protects road safety, supports business continuity and demonstrates professional competence.

J: We are hearing a lot that compliance causes unwanted complexity. How should companies view compliance in order to be successful?

A: Compliance should be viewed as a business asset rather than an administrative burden. Operators that integrate compliance into their culture and day-to-day decision making become more resilient, better prepared for audits, and more attractive to customers and partners.

We see it frequently that a compliant operation is usually more efficient and safer when compliance is embedded into the core of the business.

J: In your line of work Charlotte, what are some possible outcomes of a non-compliant transport operation?

C: Unfortunately, in this sector, the consequences can be severe.

They range from roadside prohibitions and fixed penalties to public inquiries before the Traffic Commissioner, curtailment, suspension or revocation of an operator’s licence. In more serious cases, this can extend to criminal prosecution and imprisonment.

A: Outside of legal enforcement action, non-compliance can also result in reputational damage, loss of contracts, increased insurance costs and significant challenges when recruiting and retaining drivers.

J: In your opinion Andrew, why is fleet management in particular so important to staying compliant and on the right side of the law?

A: Fleet management underpins compliance. Effective systems for vehicle maintenance, inspections, defect reporting and record-keeping are central to meeting operator licence undertakings.

Robust and audited systems ensure vehicles are safe and roadworthy, while also providing the documentary evidence regulators expect. A common phrase we use is, “you can say it, but can you prove it?”

J: How important are drivers when it comes to compliance?

A: Drivers are critical. They are at the forefront of compliance for businesses, and their actions directly impact road safety and regulatory outcomes.

C: It is essential that businesses look beyond the core expectations. We know that drivers’ hours, tachograph analysis, walkaround checks and defect reporting all affect compliance.

However, there is another level that is more human in nature. Understanding driver wellbeing, including emotions, stress and behaviours, plays a significant role in maintaining standards. It is essential that robust and recorded training and assessments are conducted to the same standard as vehicle assessments, to support a culture where drivers feel able to raise concerns.

J: When it comes to HGVs and PSVs, what are the differences in compliance requirements?

A: While the underlying principles are similar, PSV operators are subject to additional requirements around passenger safety, driver behaviour and service reliability. In contrast, HGV compliance focuses more heavily on load security, vehicle condition and operating centres.

Operators must be clear on the distinct expectations that apply to their specific licence type.

J: How easy is it to stay compliant?

C: Compliance is achievable, but it is an ongoing cycle, much like housekeeping or keeping fit. You have to keep on top of it.

Compliance failures most commonly arise from poor system management, insufficient supervisory oversight, or delays in identifying and addressing issues.

Operators that implement structured training programmes, conduct regular audits and carry out systematic compliance reviews are usually better equipped to identify risks early, address non-conformances and sustain compliance with regulatory requirements.

J: And when it comes to Earned Recognition, it sounds like a straightforward decision?

C: A DVSA Earned Recognition Operator sets the standard.

Earned Recognition is available to operators who can consistently demonstrate high levels of compliance. What matters most here is consistency.

A: Earned Recognition may reduce the frequency of DVSA roadside checks and visits, but this depends on the continued provision of accurate data and the maintenance of effective management systems. It requires continual oversight and active involvement.

J: What guidance is available for operators?

A: The DVSA’s Guide to Maintaining Roadworthiness is a key document. Operators should also follow the relevant Traffic Commissioner Statutory Guidance and Directions, alongside any sector-specific guidance applicable to their operation.

These documents set out regulatory expectations and are frequently relied upon by Traffic Commissioners when assessing compliance. Keeping up to date with changes is vital and underpins the principle of continuous and effective control of the operation.